Marketing Compliance Specialist

About This Role

This specialist position focuses on reviewing social media for compliance and approving various public-facing materials, including social media profiles, posts, and firm-level marketing campaigns. The role also involves assisting in the review and approval of marketing content such as videos, digital ads, podcasts, and materials for advisor recruits.

Responsibilities

• Review materials including social media profiles, content, scripts, videos, podcasts, digital ad campaigns, advisor recruiting materials, and national brand campaign materials for public use, ensuring firm and regulatory policies are met
• Provide direction on following firm and industry regulations to other marketing team members, advisors, and related individuals for their projects and campaigns
• Explain complex policies, rules, and regulations of the industry and firm to those without a compliance background
• Develop a thorough understanding of corporate brand guidelines and voice to ensure all projects represent the brand well and meet regulatory guidelines
• Receive direction from team leaders and exercise independent judgment to assist the team in resolving issues, finding the best path forward, and achieving goals
• Interpret and implement policies, procedures, and compliance requirements to ensure brand compliance with firm and regulatory requirements
• Be service-oriented to understand others, anticipate needs, and help solve their problems
• Monitor and stay current with changes in the social media landscape, including understanding and making recommendations on new platforms as they are developed
• Propose new processes and procedures to streamline the review process for all materials

Requirements

• Strong customer service, interpersonal communication skills, and attention to detail
• Ability to take direction from team leads and handle efforts with minimal oversight
• Highly organized individual, capable of handling multiple projects simultaneously and meeting deadlines
• A strong understanding of social media platforms and the social media regulatory environment
• Ability to work alongside other teams effectively
• Experience working to tight deadlines and in high-pressure situations
• Ability to understand industry regulations, especially concerning communication with the public
• A comprehensive understanding of FINRA regulations under 2210 and 482, Stifel policies and procedures, and company branding requirements
• Minimum Required: Bachelor's Degree in a related field or a combination of education and experience
• Minimum Required: 2+ years of financial industry experience
• Minimum Required: FINRA Series 7, 63 or 66, and 24
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook